RESOURCE INTERCONNECTION HANDBOOK Version 1.3
12/12/2014
This handbook is intended to provide a general description of ERCOT’s generator interconnection
process for current and potential ERCOT Market Participants. This handbook is not a
replacement for the ERCOT Protocols, Operating Guides, Planning Guide, or Other Binding
Documents. In the event of any conflict, the ERCOT Protocols, Market Guides, and/or Other
Binding Documents (OBDs) shall control.
Version
0.1
0.2
0.3
0.4
Date
10/12/2012
10/24/2012
10/29/2012
11/1/2012
Author
Al Garcia
John Adams
W. Rickerson
John Adams
11/6/2012
Paul Tan
0.6
Description of Changes
Original Document Draft
Editing and reduction of scope
Editing and Addition of Description of Changes/Table of Contents
Replacing details of each process with checklist in appendix and other
edits
Editing, make Figure 2 and 3 consistent with Planning Guide, changes
to Appendices G and H, updated TOC
Editing for simplicity & clarity
11/13/2012
0.7
Incorporate comments Art Deller, Bill Blevins,
11/26/2012
0.8
Incorporate comments Patrick Coon, Ed Geer, Art Deller
11/30/2012
0.9
Editing and cleanup – initial draft
11/30/2012
1.0
Add planning model requirements, commercial operation requirements,
corrections & Initial Issue
Clarify SCADA Point plan, Generation checkout, and fate of projects if
FIS scope not agreed to within 60 days.
Incorporate recommendations of QMWG to clarify
Update language to Incorporate ERCOT and Market Participant
comments pertaining to the Resource Interconnection, Modeling, and
Operations processes.
12/20/2012
Eric Adams/John
Adams
Art Deller, Bill
Blevins, John
Adams
Ed Geer, Art
Deller, Patrick
Coon
Woody
Rickerson
John Adams
12/28/2012
John Adams
3/29/2013
12/12/2014
John Adams
Isabel Flores, Art
Deller, Bill
Blevins, Chad
Thompson, Ed
Geer, Ted Hailu,
Patrick Coon
0.5
1.1
1.2
1.3
2 TABLE OF CONTENTS TABLE OF CONTENTS ...................................................................................................................... 3 ACRONYMS AND ABBREVIATIONS ................................................................................................. 4 DOCUMENT MAINTENANCE PROCESS ........................................................................................... 5 STAGE 1: HOW TO BEGIN: INTERCONNECTION STUDIES AND PROJECT DEVELOPMENT ......... 10 STEP 1: GINR AND SCREENING STUDY ............................................................................................................... 10 STEP 2: FULL INTERCONNECTION STUDY (FIS) ..................................................................................................... 11 STEP 3 – NEGOTIATION OF INTERCONNECTION AGREEMENT ................................................................................. 14 STEP 4 – SUBMITTING A RARF WITH RESOURCE DATA FOR PLANNING MODELS ....................................................... 14 STEP 5 – PROTOCOL COMPLIANCE REVIEW ......................................................................................................... 15 STAGE 2: REGISTRATION AND MODELING................................................................................... 16 STEP 1: REGISTRATION AS A RESOURCE ENTITY ................................................................................................... 16 STEP 2: MODELING, METERING, AND TELEMETRY ................................................................................................ 17 STAGE 3: ENERGIZATION, SYNCHRONIZATION AND COMMERCIAL OPERATIONS .................... 22 APPENDIX A: SUBCATEGORIES OF GENERATORS ........................................................................ 27 APPENDIX B: LIST OF ERCOT FORMS FOR INTERCONNECTION PROCESS ................................... 28 APPENDIX C: GUIDE TO PROTOCOL AND OTHER BINDING DOCUMENTS .................................. 29 APPENDIX D: SCREENING STUDY CHECKLIST ............................................................................... 30 APPENDIX E: GINR COORDINATOR CHECKLIST UPON RECEIPT OF FIS OR IA FROM TSP ........... 32 APPENDIX F: SSO STUDY – GRID SIDE SCREENING STUDY .......................................................... 35 APPENDIX G: FIS SCOPE MEETING CHECKLIST ............................................................................. 36 APPENDIX H: FIS MANAGEMENT PROCESS CHECKLIST ............................................................... 38 APPENDIX I: PROJECT PROTOCOL REVIEW CHECKLIST ................................................................ 41 APPENDIX J: ERCOT NOTICE FOR COMMISSIONING PLAN .......................................................... 42 APPENDIX K: MODELING REQUIREMENTS FOR SYNCHRONIZATION WITH THE GRID .............. 44 APPENDIX L: LETTER TEMPLATE SENT UPON EXECUTION OF IA ................................................ 46 3 ACRONYMS AND ABBREVIATIONS Acronym
AVR
ESI ID
FIS
GINR
GINR Coordinator
IE
ME
MRD
NOIE
NOMCR
PFR
POI
PSS
PUCT
QSE
RARF
SCADA
SCED
SGIA
TSP/TDSP
Definition
Automatic Voltage Regulator
Electric Service Identifier
Full Interconnection Study
Generation Interconnection or Change Request
The ERCOT Resource Adequacy analyst who owns the GINR database and
coordinates engineering access
Interconnecting Entity
Meter Engineering
Model Ready Date
Non-Opt-In Entity
Network Operations Model Change Request
Primary Frequency Response
Point of Interconnection
Power System Stabilizer
Public Utility Commission of Texas
Qualified Scheduling Entity
Resource Asset Registration Form
Supervisory Control And Data Acquisition
Security-Constrained Economic Dispatch
Standard Generation Interconnection Agreement (commonly referred to as “IA”)
Transmission and/or Distribution Service Provider
4 DOCUMENT MAINTENANCE PROCESS This document provides an overview of the process an Interconnecting Entity or a Resource Entity must
follow as it progresses through the Generation Interconnection Process. While this document is primarily
written for new Generation Resources interconnecting to the ERCOT grid at transmission voltages, it is
expected to serve as a general guideline for other instances. Any revisions to this document will be
made by ERCOT. When changes are made to this document, a market notice will be sent to Market
Participants and the updated document will be posted to the ERCOT website.
GENERATION INTERCONNECTION PROCESS The process of bringing a resource to commercial operation has been divided into three stages in this
handbook for the purpose of defining the interactions between the developer of the resource and
ERCOT. These stages are indicated below. .
1. Interconnection Studies and Project Development
2. Registration and Modeling
3. Energization, Synchronization and Commercial Operations
Figure 1: Generation Resource Interconnection Process Flow
In Stage 1, if the proposed resource adds 10 Megawatts or more of generation at the proposed Point Of
Interconnection (POI), a Generation Interconnection or Change Request (GINR) application must be
submitted to ERCOT along with applicable data and fees. Interconnecting Entities should review section
5.1.1 of the ERCOT Planning Guide for a more detailed description of the applicability of the GINR
process for new Generation Resources as well as capacity upgrades, re-powering and changes to Points
of Interconnection for existing Generation Resources. When ERCOT receives a GINR, ERCOT will notify
the Interconnecting Entity of the receipt and completeness of the GINR, and conduct a series of
screening studies to evaluate the proposed resource’s effect on the system.
The completion of a
screening study and a notice to proceed from the Interconnecting Entity sets into motion the Full
Interconnection Study (FIS) process performed by the host Transmission and Distribution Service
Provider (TDSP). Once all FIS studies are completed, a Standard Generation Interconnection
Agreement (SGIA) may be executed with the host TDSP. Upon completion of the SGIA, Generation
5 Resource data sufficient to update the ERCOT planning cases shall be supplied by the Interconnecting
Entity to ERCOT using the current version of the Resource Asset Registration Form (RARF). ERCOT
then models the new Generation Resource in future planning base cases, which it then makes available
to all registered Market Participants. Stage 1 requirements are documented in Section 5 of the ERCOT
Planning Guides, available on the Planning Guide page of the ERCOT website. Registration of the
Resource Entity and the associated new Generation Resource begins the transition to Stage 2.
In Stage 2, the Interconnecting Entity becomes a Resource Entity, and registers as a Market Participant
with ERCOT. Once registered, the Resource Entity is responsible for updating the RARF. ERCOT
models the new Resource node by updating the Network Operations Model to reflect changes as a result
of the addition of the new Generation Resource and related facilities. ERCOT reviews the proposed
telemetry points list to establish real-time communication and control between ERCOT and the QSE.
ERCOT also establishes ERCOT Polled Settlement (EPS) meter communication which allows gathering
of 15-minute data for settlements.
In Stage 3, ERCOT reviews the Generation Resource’s Commissioning Plan, and approves the following
requests described in the New Generator Commissioning Checklist:
a) Request to commission Point of Interconnection
b) Request for Initial Synchronization
c) Request to begin Commercial Operations
In order for the Resource to be released for commercial operations, it must demonstrate that it can satisfy
ERCOT’s requirements for Reactive Power (both leading and lagging), Automatic Voltage Regulator
(AVR), Primary Frequency Response (PFR), and Power System Stabilizer (PSS), as applicable to the
Generation Resource type.
Public Utility Commission of Texas (PUCT) Substantive Rules 25.198 governs the initiation of
transmission service in Texas, and Substantive Rule §25.109 outlines the certification, licensing, and
registration of generators. ERCOT Protocol Section 16.5 identifies additional requirements related to the
registration of the Resource Entity as a Market Participant and the Generation Resources that it will
represent in the ERCOT market.
Refer to the following links for additional information.
PUCT rules: http://www.puc.texas.gov/industry/electric/business/pgc/Pgc.aspx.
ERCOT Protocols: http://www.ercot.com/mktrules/nprotocols/index.html
ERCOT Planning Guides Section 5: http://www.ercot.com/mktrules/guides/planning/index
Interconnecting Distributed Generation (less than 10 MW and at voltages below 60-kV) is described in
PUCT substantive Rule 25.211, and is not discussed in this document.
6 Stage 3
Stage 2
Stage 1
What milestones do I need to keep track of?
Figure 2: Major Milestones
7 How long does it take?
Every project is different, and study lengths can vary. Interconnecting Entities may apply for
interconnection year round, and add their Resource to the list of active projects by submitting a
completed GINR application.
Provided that all required information is received by ERCOT,
interconnection studies are performed in the order in which they are received; however, ERCOT Planning
Guides set some timeframes that both ERCOT and Interconnecting Entities must comply with during the
interconnection process.
Estimated Duration
(days)
(from completion of the prior
Key Processes
Generation
Interconnection or
Change Request (GINR)
application process
RARF provided to
ERCOT
ERCOT Screening Study
Decision to proceed to
Full Interconnection
Study (FIS)
FIS assigned to a TSP
Negotiation of FIS study
scope/pricing
Complete RARF
provided to ERCOT/TSP
Full Interconnection
Studies
FIS Acceptance by
ERCOT
Decision to proceed with
and execute Standard
Generation
Interconnection
Agreement (SGIA)
Submit executed SGIA to
ERCOT
Review and comment on
project’s adherence to
binding requirements
Resource Registration
and Modeling
Resource Registration
and Modeling
Commissioning, Final
Testing, Commercial
Operations
Responsible
Party
process - Some processes
may run concurrently)
Up to 25
Up to 10
Up to 90
Interconnecting
Entity
Interconnecting
Entity
ERCOT
Up to 180
Interconnecting
Entity
Up to 5
ERCOT
Up to 60
Interconnecting
Entity and TSP
GINR Cancellation
ERCOT mediates
discussions between IE and
TSP
Interconnecting
Entity
Up to 500
TSP
Up to 15
ERCOT
Up to 180
Interconnecting
Entity
Up to 10
GINR Cancellation
TSP
Up to 60 days
ERCOT
Up to 180
Resource Entity
Up to 180
Resource Entity
Up to 90
Resource Entity
8 Result if process
requirements are not met
The application does not
proceed to the Screening
Study phase until all
documentation is provided.
GINR deemed
incomplete/rejected
New Generator
Commissioning Checklist
requests are rejected
Figure 3-Key Process Duration and Deadlines
9 STAGE 1: INTERCONNECTION STUDIES AND PROJECT DEVELOPMENT All transmission interconnected Generation Resources with a capacity equal to or greater than 10-MW, or
an aggregate capacity equal or greater than 10-MW at the same point of transmission connection, must
submit a Generation Interconnection Change Request (GINR).
ERCOT may require Interconnecting Entities to follow the full process detailed in this guide for
interconnection of Generation Resources with less than 10 MW of capacity interconnected at 60 kV or
above.
Interconnecting Entities should review section 5.1.1 of the ERCOT Planning Guide for a more detailed
description of the applicability of the GINR process for new Generation Resources as well as capacity
upgrades, re-powering and changes to Points of Interconnection for existing Generation Resources.
Contact ERCOT Client Services if you have questions about the applicability of the interconnection
process for a specific project.
Stage 1 of the Generation Interconnection Process is described below in five steps:
1. GINR and Screening Study
2. Full Interconnection Study (FIS)
3. Negotiation of Interconnection Agreement
4. Submitting a RARF with Resource data for planning models
5. Protocol Compliance Review
STEP 1: GINR AND SCREENING STUDY The first interaction with ERCOT comes through a GINR application. This application consists of three
components:
1. Generation Entity Information Sheet
2. Resource Asset Registration Form RARF)
3. ERCOT Security Screening Study fee
During this initial stage, the developer or group of developers is referred to as the Interconnecting Entity
(IE) by ERCOT Protocols and other binding documents. An Interconnecting Entity should contact ERCOT
at GINR@ERCOT.com to acquire an Interconnection Request (INR) number that should be referenced
on all documents. The Generation Interconnection or Change Request process and related forms are
available on the New Generation Resources page of the ERCOT website. Once completed, these forms
may be submitted to ERCOT by email as distinct file attachments to GINR@ERCOT.com with e-mail
subject containing the assigned INR number.
The Interconnecting Entity is responsible for submitting the entire GINR application forms, including the
RARF with the required Screening Study data using the applicable forms1. The Interconnecting Entity
1
The Resource Asset Registration Form (RARF) has entries describing the characteristics of the resource. Screening and Final interconnection studies may
be completed with an abbreviated set of information. Instructions for what information must be filled out in each step are posted at
http://www.ercot.com/mktrules/guides/resourcereg/library.html. Data required during the interconnection process are identified by column with “R” meaning
“Required.” Data is to be entered on the currently posted version of the RARF and updated to new RARF versions if new versions are posted. No changes
to the RARF form structure – worksheet names or order and column names or order are allowed.
10 will also declare its proposed Commercial Operation Date (COD) and the proposed Point of Interconnect
(POI).
In addition to submitting the GINR application forms, the Interconnecting Entity must pay an ERCOT
Security Screening Study fee. The Screening Study fee will be determined by the capacity of the
proposed resource. Please refer to the current ERCOT Fee Schedule posted on the ERCOT website for
the ERCOT Security Screening Study fee.2 ERCOT may take up to 90 calendar days after
submission of the GINR to complete the Screening Study. Details on fee submittal are found in the
ERCOT Planning Guide Section 5.2.2. This study identifies steady state transmission constraints at the
proposed Generation Resource’s Point of interconnection which will require transmission improvements
to allow full output.
Upon completion of the Screening Study, the Interconnecting Entity has 180-days to notify ERCOT in
writing of its intention to pursue the project by proceeding to the Full Interconnection Study (FIS). If
ERCOT does not receive the Interconnecting Entity’s notification that it intends to pursue the project
within 180-days, the results of the Screening Study will expire, and the GINR will be cancelled. Any
further action on the project will require a new GINR application, including the payment of a fee for a new
study.
A checklist describing the steps taken by ERCOT in the Screening Study is included in Appendix D. As a
part of each Screening Study, the ERCOT engineer will review the point of interconnection for possible
Sub-synchronous Oscillation (SSO) risk as follows.
Screening Study: SSO Risk Grid Screen
Sub-synchronous Oscillation screening is performed by ERCOT Staff if it is determined, through a visual
evaluation of the proposed resource’s location, that any set of six Transmission Element outages can
make the proposed generation interconnection connect in series to a series-compensated transmission
line. Appendix F contains a checklist for performing this SSO screening study. 3
STEP 2: FULL INTERCONNECTION STUDY (FIS) The FIS is a set of 4 to 6 studies conducted by the TSP under an agreement with the Interconnecting
Entity . These studies always include:
1.
2.
3.
4.
Steady state and transfer analysis
Short-circuit and breaker duty review
Dynamic and transient stability analysis
Facility study
Two further studies may be required:
5. An SSO Study may be required based upon the results of the SSO screening analysis.
6. An Economic Study will be required if the estimated cost of transmission improvements exceeds 25
million dollars.
FIS Scope Meeting
2
3
http://www.ercot.com/mktrules/nprotocols/current Contingencies may include transformer outages as well as transmission lines.
11 The Interconnecting Entity may request a Full Interconnection Study (FIS) scope meeting by submitting
the items listed below via e-mail to the GINR coordinator at GINR@ercot.com:
1.
2.
3.
4.
Written notice to “proceed with FIS”
GINR application4
Payment of Full Interconnection Study fee
Proof of Site Control
This request may take place even before the Screening Study is completed if requested by the
Interconnecting Entity, but ERCOT discourages this practice. When FIS studies are requested by the
Interconnecting Entity, the ERCOT GINR coordinator notifies the engineer who performed the original
Screening Study for this project, and enters the request date into the GINR database. The assigned
engineer organizes the Full Interconnection Study (FIS) scope meeting with the TSP and Interconnecting
Entity. A checklist for the FIS scope meeting is included in the Appendix G.
The FIS scope meeting defines the scope of work for the Full Interconnection Studies. ERCOT will
facilitate this interaction, and an ERCOT representative will either attend the initial meeting in person or
participate via phone. It is the responsibility of the TSP and the Interconnecting Entity to reach an
agreement on the scope of the studies within 60 days. If the TSP and the Interconnecting Entity
cannot reach an agreement, the GINR will be terminated. Before this termination takes place, the
ERCOT engineer will attempt to mediate an agreement.
.Full Interconnection Study (FIS)
The FIS proceeds as follows:
1.
Once an FIS scope agreement has been reached between the Interconnecting Entity and the
TSP, and the ERCOT engineer has approved the scope, the TSP proceeds with the studies.
2.
After FIS scope agreement has been reached, ERCOT will publish the information listed below
about the interconnection project as part of its next planning report to the Reliability & Operations
Subcommittee as per ERCOT Protocols section 1.3.1.2.
a.
Project INR Number
b.
Facility nameplate capacity
c.
Facility fuel type
d.
County where facility is located
3.
ERCOT verifies that it has received RARF data needed for the FIS per the Resource Registration
Glossary and forwarded to the TSP performing the FIS studies, if necessary. All data sent to the
TSP should also be sent to ERCOT as there is no requirement for the TSP to share this data with
ERCOT.
FIS Study descriptions
1. Steady State Analysis- This analysis is created from the most recently approved Steady
State Working Group power flow base case for the interconnection year. It will identify
transmission facilities which may have a limiting impact on resource output. The TSP shall
perform contingency analysis sufficient to demonstrate that existing or planned
4
http://www.ercot.com/services/rq/re/newgen‐steps.html 12 transmission capacity in the area meets ERCOT Planning and Operating Guides and
NERC transmission criteria following installation of the proposed resource. The TSP
performs contingency analysis and documents any constraints in existing transmission
facilities that are likely to limit generation output from the Resource. If such constraints are
identified, the analysis will propose facility improvements which can accommodate the
proposal without limitation.
2. Short Circuit Study - The FIS agreement shall specify locations where available shortcircuit fault duty will be identified, calculated, and documented. If any of the required
transmission system improvements associated with the GINR result in violations of the
TSP short circuit criteria, the TSP shall plan and identify facilities to address those
violations. The initial short-circuit base case transmission configuration shall be the
System Protection Working Group base case for the resource’s first planned year of
commercial operation.
3. Dynamic and Transient Stability Analysis- The interconnecting TSP shall perform these
studies examining the proposed Generation Resource’s response to transient events on
the ERCOT transmission grid including local transmission faults and the expected normal
and delayed clearing of faults. All existing or publicly committed resources in the area shall
be modeled at full net output. The initial stability study base case transmission
configuration shall be one of the latest approved Dynamic Working Group flat start cases
adjusted to be consistent with the steady state base case in the region near the
interconnection for the interconnection year. Transient Stability Studies will analyze the
performance of the proposed Generation Resource and the ERCOT system. Studies must
meet NERC requirements.
4. Facilities Study- This study provides details and estimated cost of the facility
requirements for the direct interconnection of the proposed Generation Resource project
to the TSP. The Facilities Study includes conceptual design descriptions, construction
milestones, and detailed cost estimates for all direct interconnection-related transmission
and substation facilities proposed to be installed in accordance with the findings and
recommendations of other FIS studies.
5. SSO study - If the ERCOT Screening Study determines that a detailed SSO study is
required; this study shall also be included in the scope of the FIS.
6. Economic Study - This study is required only if the ERCOT screening study or Full
Interconnection Studies (typically steady state analysis) identify transmission upgrades
expected to cost more than $25 million. If facilities cost is estimated as exceeding the $25
million threshold, notification from the TSP to ERCOT that an Economic Study will be
required (email to GINR@ercot.com) must take place within ten days of estimating the
facilities cost. This notification shall contain a description of the proposed interconnection
facilities; information necessary to modify a power flow case to include these facilities, and
any other information available to the TSP required to model the proposed generation
resource and estimate cost/benefit of the proposed facilities. This study is performed by
13 ERCOT and does not require a financial contribution from the Interconnecting Entity. The
study report will be available within 30 days of request after the analysis is completed.
The TSP issuing the final FIS element report shall indicate that the report is the final report
required by the FIS. At the end of the ten Business Day review period following the
issuance of the final FIS element report, the FIS will be deemed complete and the
Interconnecting Entity and TSP may execute an SGIA. If an economic study of the direct
interconnection facilities is required, pursuant to Section 5.4.7, Economic Study, and has
not yet been completed, the Interconnecting Entity and TSP may agree that the
completion of the economic study is not required before the FIS is deemed complete. .
ERCOT is not a party to the FIS contract. The cost and responsibility for completing each
internal phase of the FIS lies with the Interconnecting Entity and the TSP. Currently, there is no
specific time limit for completion of the FIS. However, the Interconnecting Entity is required to
update ERCOT by updating the Pre-RARF any time there are changes to the proposed system
design during the FIS process, and the Interconnecting Entity must provide an affidavit every
March and September that the RARF is correct. The Interconnecting Entity is required to conduct
new studies if the capacity increases by more than 20%, or if the proposed resource
specifications are revised making the existing studies invalid.
Note that planning guide 5.3.2 requires all Interconnecting Entities that have submitted an FIS
request to submit to ERCOT, twice each year, for each proposed facility, an electronic copy of a
notarized attestation that, to the best of the attesting party’s knowledge, the Resource registration
form data are correct. The attestation shall be sent by email to GINR@ercot.com. This obligation
to update continues even after any interconnection agreement is signed. Interconnecting Entities
must immediately notify ERCOT and the relevant TSP(s) of any change in ownership and shall
provide conclusive documentary evidence of the ownership change (such as a purchase/sale
agreement).
A checklist for ERCOT actions in coordinating the FIS studies is included in Appendix H.
STEP 3 – NEGOTIATION OF INTERCONNECTION AGREEMENT The Standard Generation Interconnection Agreement (SGIA) is negotiated between the host TSP and the
Interconnecting Entity. ERCOT is not a party to these negotiations or this agreement but should be
provided an update of the status for the SGIA. The SGIA template is posted on the ERCOT website at
the following link:
www.ercot.com/content/services/rq/re/SGIA.DOC.
The IA is filed with the Public Utility Commission of Texas (PUCT), and the TSP is required to send a
copy of the signed IA to ERCOT within 10 days of execution.
STEP 4 – SUBMITTING A RARF WITH RESOURCE DATA FOR PLANNING MODELS In accordance with the ERCOT Planning Guide Section 6.9 after the IA has been signed and all other
Planning Guide Section 6.9 requirements are met, the Interconnecting Entity must provide ERCOT an
updated RARF with all necessary data to model the Generation Resource in the Steady-State Working
Group (SSWG), System Protection Working Group (SPWG), and Dynamics Working Group (DWG)
14 planning models.
Glossary.
The information necessary for submittal is detailed in the Resource Registration
STEP 5 – PROTOCOL COMPLIANCE REVIEW After an interconnection agreement (IA) is signed by the TSP and the Interconnecting Entity; ERCOT is
obligated by Protocol section 16.5 (3) to review and assess whether or not the Resource, as proposed in
the RARF, would violate any operational standards established in the Protocols, Market Guides and
Other Binding Documents. ERCOT has 60-days to review the document and provide a written
determination of whether or not the proposed system design as provided in the RARF complies with
protocols and other binding documents. A review must also take place if an IA is amended by one or
both parties.
In either case, the TSP informs the Public Utilities Commission and ERCOT of the new or revised IA.
The TSP notifies ERCOT through GINR@ercot.com of the new or revised IA.
ERCOT sends a form letter to the Interconnecting Entity with a list of information required to assess
compliance with ERCOT Protocol and Planning Guides including data items needed to model the
proposed resource in the Steady-State Working Group (SSWG), System Protection Working Group
(SPWG), and Dynamics Working Group (DWG) planning models.
Based on information from the FIS, IA and the RARF, ERCOT will evaluate whether or not the proposed
resource meets all binding requirements for interconnection. If, based on the information contained in the
FIS, IA, RARF and other submitted data, ERCOT determines that the resource does not meet binding
requirements, or if ERCOT cannot determine whether the resource will meet the requirements, the
engineer in charge of the project will provide a written document to the Interconnecting Entity explaining
this determination. Additional data may be requested at this time. Additional data is provided to ERCOT
by updating the RARF with any other required studies or documents.
The Interconnecting Entity is required to submit to ERCOT a reactive study that provides an engineering
analysis of the reactive capability of the proposed interconnected generation facilities. This study shall
include the list of equipment and systems that are to be installed to meet ERCOT reactive support
requirements. It is recommended that the Interconnecting Entity incorporate in their project plan at least
one month for ERCOT to review and approve the study with consideration for lead-time necessary for
procurement of associated equipment. New generation facilities adding reactive equipment, in addition to
the generation’s reactive capability specified in the ERCOT approved reactive study, shall have the
reactive equipment installed in the field and ready to be placed in service at the time of initial
synchronization. All Generation Resources connecting over 20 MVA of gross capacity or those units
connected at the same POI aggregating to greater than 20 MVA of gross capacity, shall provide VSS and
AVR according to Protocol Section 3.15 Voltage Support. 15 STAGE 2: REGISTRATION AND MODELING ERCOT and Transmission Service Providers are responsible for the physical operation of the ERCOT
electric grid and the coordination of the ERCOT power market. These complex tasks are made possible
by a set of internal software systems that track, model, control, and manage data about the ERCOT grid.
Connecting a new generation resource to the grid requires that these systems be updated with accurate
engineering models of the new resource and associated equipment. Through this process, the new
generation resource will become part of the ERCOT Network Operations Model.
Addition of information to the ERCOT Network Operations Model is controlled by strict procedures. This
model underlies all of ERCOT’s commercial and operational systems. The registration and modeling
process ensures this data is accurate and that communication between ERCOT systems and the new
resource’s systems by way of the QSE are in place before the resource is commissioned.
All entities that either own or control an All-Inclusive Resource connected to the ERCOT System must
register as a Resource Entity (RE). The RE must register each All-Inclusive Resource through ERCOT
registration by completing a current version of the Resource Asset Registration Form (RARF). The
Resource registration process incorporates electronic and manual processes to submit, validate,
approve, and authorize ERCOT to apply Resource Asset data in studies, planning, market and operation
systems per Protocol and Planning Guide Section 6.8.
For the remainder of the interconnection process, ERCOT’s Client Services department is the primary
contact for the newly registered Resource Entity. The ERCOT Client Services department is responsible
for tracking each Generation Resource through the remaining steps of the interconnection process and
facilitating interactions between ERCOT, the Resource Entity and QSE as well as resolution of any
issues that may arise. Each Resource Entity is assigned an account manager upon registration who
serves as the primary contact for all of its interactions with ERCOT. The assigned account manager is
responsible for guiding each Resource Entity through the end of the interconnection process and beyond
as the Resource starts commercial operation in the ERCOT market.
STEP 1: REGISTRATION AS A RESOURCE ENTITY With the completion of a signed SGIA, the Interconnecting Entity or resource owner registers as a
Resource Entity (RE) in the ERCOT market. Power Generation Companies operating within Texas are
also required to register with the Public Utility Commission of Texas in accordance with PUCT
Substantive rules which may be found at http://www.puc.texas.gov/agency/rulesnlaws/Default.aspx.5
Registering the Resource Entity is necessary for completing a Resource Asset Registration Form that is
used for modeling the resource in the Network Operations Model. ERCOT recommends that the
Resource Entity register as a Market Participant at least 140 days prior to the date that the new resource
is to be added to the Network Operations Model. The Resource Entity needs to complete the RARF with
all data for the new resource at least 130 days prior to the desired date that the new resource and
associated equipment is to be added to the Network Operations Model on the Model Ready Date (MRD).
Selecting the desired MRD, needs to be based on the desired initial energization date and initial
synchronization date. The MRD needs to precede the desired initial proposed energization date by at
least 15 - 30 days to allow time to resolve issues with telemetry or other operational issues. An overall
5
When this document was written, PUCT requirements for registration were contained in rule 25.109 “Registration of Power Generation Companies and Self‐Generators” 16 schedule of the milestones in Stage 2 is contained in the New Generation Coordination Log that is sent to
the Resource Entity by the assigned ERCOT account manager.
Registration as a Resource Entity usually takes 10 to 15 days and is composed of the following key
components:
1. Submission of Resource Entity (RE) Application for Registration
2. Execution of a Standard Form Market Participant Agreement
The Resource Entity Application for Registration form has 3 critical subcomponents:
1. Basic Entity Information - Each registering Resource Entity needs to provide basic company
information that allows ERCOT to enter the entity into the Registration systems and populate
ERCOT systems with necessary information. This information includes legal company name, Dun
& Bradstreet DUNS number, address and company officers.
2. Designation of a Qualified Scheduling Entity (QSE) - Each new Resource Entity must designate a
QSE to be associated with the new generation resource. This QSE will work with the RE during
the commissioning and final steps of the interconnection process. The QSE will be responsible
for scheduling and directing ERCOT dispatches to the generation resource. For an overview and
more information on QSEs and QSE qualification, see the QSE Qualification Guide.
3. Designation of contacts for communication with ERCOT: Every Resource Entity must identify key
personnel, which will serve as primary contacts for a variety of ERCOT activities related to market
operations and system operations. The contacts listed below are crucial towards completing the
remaining steps of the Generation Interconnection Process:
o Authorized Representative – Responsible for authorizing all registration information
required by ERCOT Protocols and ERCOT business processes
o User Security Administrator (USA) – Responsible for managing the Resource Entity ’s
access to all of ERCOT’s computer systems including the Market Information System
(MIS) through digital certificates
o Resource Outage Submittal Contact (ROSC) – Responsible for coordinating and
submitting Resource outages to ERCOT
o Outage of transmission facilities owned by the Resource Entity - All Resource Entities
must notify ERCOT whether the host TSP or ERCOT will submit outage requests for
transmission facilities owned by the Resource Entity in the Outage Scheduler.
Complementary to the Resource Entity Application for Registration is the Managed Capacity
Declaration Form. This form identifies for ERCOT the Decision Making Entity (DME) whether itself or
another legal entity with authority over the generation resource, including the authority to offer the
resource into the market.
STEP 2: MODELING, METERING, AND TELEMETRY The final technical phase of the interconnection process begins once the Resource Entity completes
registration as a market participant and registration of the resource via the Resource Entity registration
process. In this step, the logical and system structure for dispatching, metering, and communicating with
the new generator will be established and verified prior to modeling the Resource in the ERCOT Network
17 Operations Model. This model is updated on a scheduled basis, with a set model load date calendar6.
On the Model Ready Date (MRD), ERCOT systems will link together the following key components:
1. Metering and Meter Data Acquisition System (MDAS)
2. ERCOT market settlement information and pricing location
3. Supervisory Control And Data Acquisition (SCADA) and Inter-Control Center Communication
Protocol (ICCP) communication points
4. QSE and Resource Entity relationship and contact information
Establishing these links requires coordination between all involved Market Participants and internal
ERCOT departments. ERCOT Client Services maintains a New Generation Coordination Log as a
reference for this process. Appendix B also provides a list of forms and links to the ERCOT website
where Resource Entities can find the forms and additional information on how to submit modeling data to
ERCOT. The MRD for loading the new resource and associated equipment into the Network Operations
Model is expected to precede the desired Planned Energization Date of the Point of Interconnection by at
least 15- 30 days.
The responsibility for these submissions is shared between the TSP, Resource Entity, and QSE.
TSP must submit:
1. Model data through the Network Operations Model Change Request (NOMCR) process
The TSP is responsible for submitting network modeling information to ERCOT for equipment it
owns through the NOMCR process. More details about this process are available in the Network
Operations Modeling and Expectations Guide
2. Metering plan – EPS Design Proposal
The design of EPS equipment and a one-line diagram of the TSP’s interconnection and the
generator site topology. This plan is reviewed and approved by ERCOT’s Meter Engineering group.
The Meter Engineering group will also conduct a site certification review after energization. For
more details about metering and technical requirements refer to the Settlement Metering Operating
Guide
3. Meter Data Acquisition Form
Verification of meter communication with ERCOT meter polling systems.
4. EPS Cutover Form
Submitted 15 days before meters are officially cut-over to ERCOT’s systems, this will occur at the
same day as the model load date.
QSE must submit:
1. Outage Schedule
6
The model load calendar is located on the ERCOT website at: http://www.ercot.com/gridinfo/transmission/opsys‐change‐schedule.html 18 In the final stage of the interconnection process before energization, on the MRD the new
resource will become live in ERCOT systems. To ensure that the generator is not dispatched by
ERCOT, the QSE must submit an outage through the Outage Scheduler. This outage status will
be updated throughout the final verification and testing phases.
2. ICCP Points List
The ICCP Points List contains the needed resource and interconnection telemetry points that the QSE
plans on providing, subject to the intended network model topology indicated in the RARF. This ICCP
Points List is built in collaboration with the QSE and ERCOT’s Energy and Market Management Systems
(EMMS) Production Support organization. The QSE will provide ERCOT a points list of proposed
SCADA points and their definition for ERCOT to review and begin implementing. The list of required
telemetry points is indicated in the Nodal ICCP Communication Handbook.7 The Resource Entity and
QSE should use the list below for typical telemetry requirements in creating and submitting an ICCP QSE
Points list for a new generation Resource site. All telemetry should be provided as required in the ERCOT
Nodal ICCP Communications Handbook and should include the following for all modeled equipment as
specified in the RARF:
1. For each modeled generation Resource
o
o
o
o
Gross and Net MW
Gross and Net MVAr,
PSS status (Note: can be set to 'Off' for wind or solar Resources)
AVR status
2. For each modeled generator auxiliary load and/or station service load ( if on the high-side)
o
o
MW
MVAr
3. For each modeled Reactor / Capacitor bank including dynamic reactive devices (SVC,
STATCOM, etc.)
o
MVAr (Note: can be provided from each modeled control breaker)
4. For each modeled Breaker and Disconnect
o
Breaker/disconnect statuses (low-side and high-side, where the high slide is not
owned by the TSP)
5. For each modeled Generator Step-Up Transformer on the high-side
o
o
o
MW flows
MVAr flows
Voltages (KV)
6. For each modeled Generator Step-Up Transformer on the low-side
7
The Nodal ICCP Communication Handbook is an Other Binding Document, posted on the ERCOT website at: http://www.ercot.com/services/mdt/userguides/index 19 o
Voltages (KV)
7. For each modeled Transmission line to the Point of Interconnection (POI) if the POI is not
at the same substation as the Generation Resource site
o
o
o
MW flows
MVAr flows
Note: the RE and QSE should confirm that the TSP will submit Transmission line
MW and MVAr flows for the POI at the TSP station.
8. For each modeled Wind Generation Resource
o
Met data - as measured at the site
9. Other Resource site telemetry, as requested by ERCOT
The ICCP Points List is provided as a final update of the communication and telemetry points
agreed upon between ERCOT and the QSE in compliance with the Nodal ICCP Communication
Handbook. Typically development of the ICCP Point List is an iterative process between the QSE
and ERCOT, whose purpose is to ensure that ERCOT will have all the necessary telemetry to
monitor the ERCOT grid prior to station energization and synchronizing the generator to the grid.
Upon submittal of the ICCP QSE Points list, ERCOT will review and provide preliminary feedback
regarding the ICCP Points List to the QSE and Resource Entity.
3. Verifiable Costs
Verifiable Cost encompasses data that represents the actual start-up and minimum energy at Low
Sustainable Limit (LSL) applied in economic commitment and deployment in accordance with
ERCOT Protocol Section 5.6.1, Verifiable Cost.
Resource Entity must submit:
1. Model data through the ERCOT-prescribed process applicable to Resource Entities
o The Resource Entity is responsible for submitting the RARF with network modeling
information to ERCOT for equipment it owns through the ERCOT-prescribed process
applicable to Resource Entities.
2. Generation Node and Meter Mapping package (GENMAP) verification
The Generation Node and Meter Mapping (GENMAP) package is compiled by ERCOT and
provided to the Resource Entity. The GENMAP package provides documentation on the detailed
modeled configuration of how the resource node and metering will be mapped in the Network
Operations Model on the Model Ready Date. The Resource Entity will review and provide
confirmation to ERCOT that the Generation Node and Meter Mapping is accurate by submitting
the Resource Node & EPS Meter Mapping Verification document included in the Generation Node
and Meter Mapping package.
3. Updated RARF data
20 If at any point the parameters of the All-Inclusive Generation Resource that are documented on
the RARF are changed, the Resource Entity must submit updated RARF data in accordance with
the ERCOT Planning Guide Section 6.8.2.
All RARF data submissions and verifications are designed to take effect on the MRD. On this day, with
submission of the EPS Cutover form, all telemetry and metering with ERCOT will be fully functional and
the resource will appear in the ERCOT Network Operations Model. At this point, the All-Inclusive
Generation Resource is modeled such that it later can be dispatched, scheduled, and settled in ERCOT
market systems.
21 STAGE 3: ENERGIZATION, SYNCHRONIZATION AND COMMERCIAL OPERATIONS Background
Stage 3 is governed by the ERCOT New Generator Commissioning Checklist (Checklist). This Checklist
is intended to coordinate the energization and synchronization of a new All-Inclusive Generation
Resource, as well as provide the Resource Entity approval to declare commercial operation of said new
All-Inclusive Generation Resource, once all qualification measures have been met to the satisfaction of
ERCOT.
Approximately 30 - 55 days prior to the MRD, the QSE shall submit the ICCP Point List to ERCOT. It is
expected that the ICCP Points List includes parameters of the new Generation Resource and associated
equipment, including the interconnecting transmission substation equipment. If insufficient information is
provided during the modeling process, there is a high risk of delay in the synchronization, commissioning,
and commercial operation of the new resource.
At least 30 days before the Resource Entity plans to submit Checklist PART 1, the Resource Entity is to
submit a commissioning plan detailing how the facility will be operated during Stage 3, including testing of
generation and systems while supporting grid security in accordance with ERCOT Protocols, including,
but not limited to Section 3.15, Voltage Support. Resource Entities adding capacity to existing
Generation Resources, re-powering previously commissioned Generation Resources or changing /
adding Points of Interconnection may use the commissioning plan to communicate their plans to ERCOT
and determine what parts of the commissioning process are applicable to their specific project. ERCOT
shall review the commissioning plan and provide feedback with regards to compliance with operational
standards and identify possible operational limitations during the commissioning process within 15 days
of receipt. The commissioning plan must include the planned dates for all ERCOT required testing and
Checklist submissions. A template commissioning plan is posted on the ERCOT website along with the
Checklist.
The Checklists verify critical communication points and generation security measures before allowing the
Resource Entity to energize the point of interconnection, synchronize generation, and prepare for
commercial operations. This Checklist process is coordinated by ERCOT Client Services, and Checklist
approvals are made by ERCOT Operations Support.
Checklist submittals and approval:

Separate Checklists must be submitted for each new Generation Resource associated with the
same Point of Interconnection. Submit all Checklists to ERCOT’s Client Services Department.

Prior to submitting Part-1 (energization of Point of Interconnection) of the Checklist, the QSE,
Resource Entity, and interconnecting Transmission Service Provider shall ensure that the
transmission switchyard facilities have been modeled in ERCOT’s Network Operations Model,
constructed, energized and operational.

ERCOT recommends that Part-1 of the Checklist be submitted at least 7 Business Days in
advance of the planned date for energization of Point of Interconnection

ERCOT shall provide a response to a submitted Checklist part within 3 Business Days of receipt.
This is to allow ERCOT to incorporate the new Generation Resource into operational studies and
troubleshoot any identified issues.

ERCOT recommends that Checklist PART 2 and PART 3 be submitted after satisfactory
completion of testing and approval of the previous Checklist part by ERCOT
22 
ERCOT recommends that the planned date for Part-2 (synchronization) and Part-3 (commercial
operations) of the Checklist be at least 7 Business Days from the date ERCOT approves the
previous Checklist part.

Any Checklist PART submitted prior to receiving approval of the previous Checklist PART will be
considered as being submitted on the next business day after the approval of the previous
Checklist part by ERCOT
23 Checklist Submissions for Existing Generation Resources Seeking to Increase Output Existing Generation Resources who submit plans to increase their capability still follow the standard interconnection process. Upon reaching Stage 3 of the interconnection process, these Generation Resources are still required to submit the Checklist. ERCOT understands that PART 1 and PART 2 are somewhat redundant as the Generation Resource is already connected to the ERCOT grid and providing commercial power. ERCOT still requires PART 3 of the Checklist to be submitted to ensure that the Generation Resource is able to pass all required testing up to the increased capability. This check helps ensure that any Generation Resource previously exempt from PSS requirements as indicated in Section 2.2.6 of the ERCOT Nodal Operating Guides that have done work on their excitation systems have installed a PSS and are operating with it in service. A few final notes on Checklist submissions: ERCOT typically approves Checklist PART submissions for
execution on Business Days only, during the hours of 8 AM to 5 PM Central Prevailing Time. Due to
ERCOT system operations personnel shift schedule rotations and technical support limitations, ERCOT
requests that Resource Entities submit Checklist approvals for target dates on Tuesday through Saturday
excluding ERCOT holidays. Checklist submissions received by ERCOT after 4 PM Central Prevailing
Time will be considered as received by ERCOT on the following Business Day.
ERCOT’s approval of Part-1 and Part-2 of the checklist, energization of the Generation Resource Point of
Interconnection and synchronization of the Generation Resource to the grid, is given for a specific target
day requested by the Resource Entity and is subject to real-time grid operating conditions. Accordingly,
the Resource Entity’s QSE must contact the ERCOT control room as per ERCOT’s Operating
Procedures and receive permission to proceed prior to station energization or synchronization of the
Generation Resource. In the event that system conditions are such that energizing the Generation
Resource station facilities or allowing the Generation Resource to synchronize to the grid will place
unnecessary risk to the ERCOT Interconnection, ERCOT System Operators have the authority to cancel
or otherwise prohibit these actions.”
All generation resources connecting over 20 MVA of gross capacity or those units connected at the same
Point of Interconnection aggregating to greater than 20 MVA of gross capacity shall provide VSS and
AVR according to Protocol Section 3.15 Voltage Support. This means that for Generation Resources,
such as wind or solar plants, who plan on energizing their facility as new equipment is installed, shall
have the ability to provide VSS as required in the Protocols once the gross connected capacity of the
Generation Resource exceeds 20 MVA. If unable to provide VSS until the Generation Resource is fully
constructed, the Resource Entity may continue commissioning the new equipment so long as the
Resource Entity self-limits connected capacity and output from the Generation Resource to 20 MVA.8
Once a Generation Resource has enough generation capacity available for AVR and VSS control, the
Resource Entity is to request approval from ERCOT to generate above 20 MVA and up to the capability
in which the Generation Resource can provide voltage control. The manner in which a Generation
Resource can operate above 20 MVA shall be documented in the Commissioning Plan.
Process
8
For Intermittent Renewable Resources planning on providing VSS through the use of capacitor and reactive banks, it is encouraged that those reactive devices be installed at the beginning of Stage 3 (prior to Checklist PART 1 approval) to maximize output from the Generation Resource during the Commissioning process. 24 Upon submittal of PART 1 of the Checklist, ERCOT shall review it for accuracy and completeness.
ERCOT shall then perform a verification of the network model and SCADA telemetry, and perform
system studies as appropriate to ensure that no reliability risks exist with providing energization approval.
ERCOT shall provide a response within 3 Business Days of receipt. If any problems are encountered
with the network model or SCADA telemetry that cannot be readily resolved, ERCOT shall reject PART 1
of the Checklist, and request the QSE, Resource Entity or Transmission Service Provider, where
appropriate, to review and correct any outstanding issues as required, and then resubmit Checklist PART
1. PART 1 of the Checklist shall not be resubmitted until all identified problems have been resolved to
the satisfaction of ERCOT. As indicated above, PART 1 of the Checklist should not be submitted before
the interconnecting transmission switchyard facilities have been modeled with ERCOT, are constructed,
energized and operational. The same process for Checklist PART 1 applies with Checklist PART 2.
ERCOT shall review the model and telemetry, and perform system studies as appropriate, rejecting
PART 2 of the Checklist if any problems are encountered that cannot be readily resolved.
Use of On‐Test Status during the Commissioning Process During the commissioning process for a new resource, the QSE will submit a resource status in accordance with Protocol section 3.9.1 Current Operating Plan (COP) Criteria. The status of “ONTEST” should be used during the actual testing of the resource. ERCOT System Operations may require that a QSE provide a MW schedule for the Generation Resource’s output for the duration of the planned test. At the point when the resource is not testing and is on control and capable of following SCED Base Points and curtailment flags, the resource would begin using an “ON” status in the COP and telemetry. Resources using an “ON” status are subject to Base Point Deviation charges and GREDP monitoring. Checklist PART 3 approval requires verification of several generator parameters such as reactive
capability, primary frequency response, and voltage control. Obtaining approval of Checklist PART 3 is
dependent on the time necessary for the Resource Entity and QSE to perform all required performance
testing. Once all testing has been performed and Checklist PART 3 is submitted to ERCOT, ERCOT
shall review all test results and approve Checklist PART 3 as appropriate. If any issues are identified
with regards to performance testing that cannot be readily resolved, ERCOT shall reject the PART 3
submittal, and request the QSE, Resource Entity or Transmission Service Provider, where appropriate, to
review and correct any outstanding issues as required, and then resubmit Checklist PART 3. PART 3 of
the Checklist shall not be resubmitted until all identified problems have been resolved to the satisfaction
of ERCOT. Once Checklist Part 3 approval has been given, ERCOT allows the Resource Entity to
declare its Resource available for commercial operations. Final review by ERCOT Operations and initial
qualification testing has been completed.
25 The Reactive Capability, AVR, PSS and Governor Performance tests The Reactive Power Capability, AVR, PSS and Governor Performance tests are the final step before approval to be released for commercial operations. These tests are described in the ERCOT Operating Guides sections 2.2.5 (AVR), 2.2.6 Power System Stabilizers, 2.2.7 (Turbine governors), and 3.3.2.2 – 3.3.2.3(Reactive testing). All ERCOT required testing must be completed and submitted to ERCOT within 90 days of receiving ERCOT approval of PART 2 of the Checklist. If all ERCOT required testing has not been completed within 90 days of receiving ERCOT approval of PART 2 of the Checklist, ERCOT may direct the Generation Resource to isolate from the grid until the required testing has been completed or mitigation plans have been established to address operational risks until the testing can be completed. Typically, coordinated Reactive Power Capability tests are performed in coordination with ERCOT and the TSP as described in section 3.3.2.3 Coordinated Reactive Testing of the ERCOT Operating Guides to allow for assistance of other reactive resources needed to exercise the full reactive capability of the new resource. Although ERCOT operating guides recommend maximum leading reactive tests be performed in low load months, and maximum lagging reactive tests be performed in high load months, this is often not possible for initial operation. Coordinated Reactive testing is generally required for PART 3 approval. If issues arise in completing a non‐coordinated reactive test, then a coordinated reactive test will be required. No extensions to complete reactive testing for PART 3 approval are provided. If either leading or lagging reactive test cannot be completed due to RE plant limitations, the issues must be resolved and a new reactive test conducted. If either leading or lagging coordinated reactive test cannot be completed due to limitations on the TSP/ERCOT system (not due to limitations inside the RE plant) then approval of the reactive test may be granted if all submitted information and test results meet ERCOT requirements. Otherwise, additional reactive testing will be required. 26 APPENDIX A: SUBCATEGORIES OF GENERATORS Combined
Cycle Train
Combined
Cycle
Generation
Resource
Intermittent
Renewable
Resource
(IRR)
Quick Start
Generation
Resource
(QSGR)
Split
Generation
Resource
Switchable
Generation
Resource
Wind-powered
Generation
Resource
(WGR)
The combinations of gas turbines and steam turbines in an electric
generation plant that employs more than one thermodynamic cycle. For
example, a Combined Cycle Train refers to the combination of gas turbine
generators (operating on the Brayton Cycle) with turbine exhaust waste heat
boilers and steam turbine generators (operating on the Rankin Cycle) for the
production of electric power. In the ERCOT market, Combined Cycle Trains
are each registered as a plant that can operate as a Generation Resource in
one or more Combined Cycle Generation Resource configurations.
A specified configuration of physical Generation Resources (gas and
steam turbines), with a distinct set of operating parameters and physical
constraints, in a Combined Cycle Train registered with ERCOT.
A Generation Resource that can only produce energy from variable,
uncontrollable Resources, such as wind, solar, or run-of-the-river
hydroelectricity.
A Generation Resource that in its cold-temperature state can come On-Line
within ten minutes of receiving ERCOT notice and has passed an ERCOT
QSGR test that establishes an amount of capacity that can be deployed within
a ten-minute period.
Where a Generation Resource has been split to function as two or more
independent Generation Resources in accordance with Section 10.3.2.1,
Generation Resource Meter Splitting, and Section 3.10.7.2, Modeling of
Resources and Transmission Loads, each such functionality independent
Generation Resource is a Split Generation Resource.
A Generation Resource that can be connected to either the ERCOT
Transmission Grid or a non-ERCOT Control Area.
A Generation Resource that is powered by wind. Wind turbines may be
aggregated together to form a WGR if each turbine is the same model and
size and located behind the same GSU transformer.
27 APPENDIX B: LIST OF ERCOT FORMS FOR INTERCONNECTION PROCESS Process/Form
Entity
Location
Submission
Generation Interconnection or
Change Request (GINR)
Screening Study Data
submission
SGIA
IE
GINR@ercot.com
IE
Resource Registration
RE
New GINR Page
(TBD)
New GINR Page
(TBD)
New GINR Page
(TBD)
RE Registration
Standard Market Participant
Agreement
Managed Capacity Declaration
Form
Resource Asset Registration
Form (RARF)
Resource Registration Glossary
RE
SFMA
ERCOT Account Manager or
clientservices@ercot.com
ERCOT Legal via fax or mail
RE
RE
Managed Capacity
Form
RARF Forms
ERCOT Account Manager or
clientservices@ercot.com
MIS System
IE/RE
Res Reg Glossary
RARF submission requirements
EPS Design Proposal
TSP/RE
EPS Design Form
MDAS Form
TSP/RE
MDAS Form
epsmetering@ercot.com, ERCOT Account
Manager
mreads@ercot.com
EPS Cutover Form
TSP/RE
EPS Cutover Form
Outage Schedule
QSE
MIS System
epsmetering@ercot.com,
1ERCOTEAADataAggregation@ercot.com
Through MIS outage scheduler
QSE ICCP Points List
QSE
MIS System
Through MIS service request
New Generation Checklist, Part
1
Request for Unit Testing
RE
New Gen Checklist
QSE
Operating
Procedures
ERCOT Account Manager or
clientservices@ercot.com
Sent to the ERCOT Shift Supervisor:
shiftsupv@ercot.com.
New Generation Checklist, Part
2
Net Dependable Capability and
Reactive Capability (NDCRC
New Generation Checklist, Part
3
QSE
New Gen Checklist
QSE
MIS System
RE/QSE
New Gen Checklist
IE
28 GINR@ercot.com
GINR@ercot.com
ECS representative or
clientservices@ercot.com
Through MIS dashboard
ERCOT Account Manager or
clientservices@ercot.com
APPENDIX C: GUIDE TO PROTOCOL AND OTHER BINDING DOCUMENTS Key Processes
References
Feasibility studies and project development
Planning Guide Section 5
Generation Interconnection or Change
Request (GINR) application process
Decision to proceed
ERCOT Screening Study
Full Interconnection Study (FIS)
FIS acceptance
Decision to proceed with Standard
Generation Interconnection Agreement
(SGIA)
SGIA signed and approved by ERCOT
Resource registration and modeling
Planning Guide Section 5.2
RE Registration
RARF Completion
Metering
Certification, final testing, commercial
operations
Communications
Outage Scheduling
Decommissioning and RMR Contracts
Planning Guide Section 5.3
Planning Guide Section 5.4.1
Planning Guide Section 5.4.2
Planning Guide Section 5.4.8
Planning Guide Section 5.5
Planning Guide Section 5.5
Protocol Sections 2, 3, 16
Nodal Operating Guides Sections 2, 3, 5, 7
Protocol Section 16.5.2
Other Binding Documents
Protocol Section 10
Settlement Metering Operations Guide
Nodal Operating Guide Sections 2, 3, 7
Nodal Operating Guide Sections 7
Nodal ICCP Communication Handbook
Protocols Section 3.1
Protocols Section 3.14
Protocols Section 22 Attachment
29 APPENDIX D: SCREENING STUDY CHECKLIST □
□
□
(1) Assigned ERCOT Engineer check for GINR, project name, and intended year of
interconnection in the generation interconnect folder and determine if enough data is available
and notifies the Interconnecting Entity if anything more is needed within 5-days of the project
receipt.
(2) When all information is available to complete the screening study, the engineer sends an email
to the Interconnecting Entity notifying it that the application is now complete.
(3) The assigned ERCOT Engineer selects a Steady State Working Group summer peak base
case from data set B, and performs the following modifications:
□ Add projects in the vicinity with a recently signed IA which were not included in the base
case
□ Add approved TPIT transmission projects that are in the vicinity, and according to the
engineer’s judgment, are likely to affect the study results.
□ Increase nearby dispatchable thermal generation to 100% output and nearby wind to 80%
output if in the West and 95% output if in the Coast. “Dispatchable” excludes Mothball,
Private Use Network, Hydro, Nuclear, Equivalent, and Blackstart, as these are not
normally available for dispatch.
 Engineer inspects the NON_MB_GENS subsystem list and removes any
Resources which are nearby the interconnection study area.
 The increase in nearby generation is counter-balanced by scaling down generators
in subsystem NON_MB_GENS.
□ If the slack bus is in the study vicinity, the Engineer changes it to a distant generator.
□ All changes are noted in the report.
□
(4) If the project is in the South or West zone, the project may be affected by nearby wind
patterns. The engineer will thus create a second case for study, a high wind case,
□
(5) Engineer lists the identified equipment overloaded in study case(s).
□
(6) Engineer adds the proposed generator to the study case with capacity indicated by the
Interconnection Request and engineer sets the Qmin and Qmax reactive power limits to fixed
quantities corresponding to a 0.95 power factor capability.
(7) Using AC Transfer Limit Analysis, ERCOT engineer examines base case and N-1 contingency
limitations for the proposed generators. Engineer identifies Max transfer limit and limiting
contingency and element for each scenario. Engineer documents these results in the report using
the report template.
(8) If flows on transmission equipment are >100% of the equipment rating with the study
generator injecting at 120% of capability, the ERCOT engineer identifies and models appropriate
transmission upgrades or additions as necessary to allow injection without limit violations.
Equipment rating upgrades will be applied using industry standard available conductor and facility
ratings. The ERCOT engineer reruns the study to confirm the overloads are resolved.
(9) The engineer notes the list of applied upgrades or reconfigurations in the report.
(10) Reviewing a map, ERCOT engineer determines the number of outages that can make the
proposed generator interconnection connect in a series to a series-compensated transmission
line. If so, engineer performs a Subsynchronous grid side screening study.
(11) If additional Point of Interconnection will be studied, repeat all steps for additional POI.
□
□
□
□
□
30 □
□
(12) Engineer emails report to the IE noting that IE has 180 days to request a Full Interconnection
Study. Engineer calls the IE to confirm study was received.
(13) Engineer updates the GINR database with completion date
31 APPENDIX E: GINR COORDINATOR CHECKLIST UPON RECEIPT OF FIS OR IA FROM TSP Upon being notified of a completed FIS or new IA, the GINR coordinator enters into the GINR database
the signature date and ERCOT receipt date, and notifies the Resource Integration Manager. The ERCOT
receipt date is important because it starts the 60 day review period which ERCOT must meet. The GINR
coordinator sends a form letter to TSP with a list of requirements to meet ERCOT Protocol and Planning
Guides. The GINR coordinator notifies via email and hard copy the Manager of Resource Integration and
the engineer assigned to the project that the IA has been received.
Resource Integration Engineer checklist upon notification that IA received
The Resource Integration engineer assigned to the project reviews the project design utilizing the
following checklist.
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Confirm design will be able to meet all reactive power requirements.
□ Produce ±0.95 Power factor reactive at all MW levels between LSL and HSL Protocol
section 8.1.1.2.1.4.
□ At the Point of Interconnection (high side of main transformer). Protocol section (3.15 [3])
□ Dynamically provide voltage regulation (or has documented permission from ERCOT to
use switchable shunts). Protocol section 3.15
□ Able to respond to changes in the voltage profile. Protocol section 3.15
□ For Generation Resources under test phase, a reactive requirement proportional to the
test output would have to be met. The full 0.95 lead/lag capability of the name plate would
have to be fulfilled at the time of energization.
This requires the Generation Resource to maintain ±0.95 power factor or less to support the
reactive requirements at the Point of Interconnection (POI). This needs to be maintained at
various levels of varying output from the plant.
The generation resource shall provide ERCOT documentation which shows a reactive support
study in compliance with protocols. ERCOT shall review these study reports and documents and
ensure the reactive requirements have been met.
Confirm a Power System Stabilizer or equivalent is included in the design if the generator is a
synchronous machine: Protocol section 3.15.3[4]
All QSEs providing VSS must have a PSS for the generation resource and need to provide
telemetry to ERCOT. The design shall include the PSS specifics and needs to be notified to
ERCOT while the FIS study scope is being decided.
Confirm the Generation Resource will provide frequency response: Protocol section 8.5.1.1 and
8.5.1.3
Generation Resources that have capacity available to either increase output or decrease output in
Real-Time must provide Primary Frequency Response, which may make use of that available
capacity. Only Generation Resources providing Regulation Up (Reg-Up), Regulation Down (RegDown), Responsive Reserve (RRS), or Non-Spinning Reserve (Non-Spin) from On-Line
Resources, as specified in Section 8.1.1, QSE Ancillary Service Performance Standards, shall be
required to reserve capacity that may also be used to provide Primary Frequency Response.
Confirm the Generation Resource will dynamically provide voltage regulation: Protocol section
3.15
Confirm breaker interruption capability of main high-side breaker is suitable to fault duty
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Confirm transient voltage ride through per Protocols and operating guides: Operating Guide
section 2.9
All generation resources shall meet the operating guide section 2.9 requirements with wind
powered resources or Intermittent Renewable resources meeting the 9 cycle voltage ride through
requirements as shown in the figure below:
VRT requirements may be met by the performance of the generators; by installing additional reactive
equipment behind the POI; or by a combination of generator performance and additional equipment
behind the POI. VRT requirements may be met by equipment outside the POI if documented in the
SGIA.
Confirm AVR is included in the design, and it will be operated in voltage control mode. Protocol section
(3.15.3 & 3.15 [5])
Confirm the Generation Resource can respond to changes in the voltage profile. Protocol Section
3.15
Confirm reactive capability is based upon the ability to deliver to the HIGH side of the step-up
transformer. Protocol section (3.15 [3])
The ERCOT Engineer evaluates the information provided by IE, cites evidence sources that back
up the decision, formulates a protocol compliance review letter to the Interconnecting Entity, and
scans a copy of results to the project folder.
Resource Integration Engineer then sends letter to Legal Department for review.
Upon authorization from Legal Department, the engineer sends the letter to the interconnecting
TSP and IE. Engineer copies Model Administration and ERCOT Client Services (Account Rep, if
designated already) on the email. Engineer also notifies RI Manager of checklist completion and
of the results. If the ERCOT engineer’s decision was negative, or “not enough information”, TSP is
directed to send information necessary to the same engineer. In case of “not enough information”
ERCOT engineer must specify which changes need to be made.
Engineer updates the GINR database the day the letter is sent to the TSP and IE, entering the
date in the appropriate field, and saves a copy of the IA review letter in the project folder.
The Resource Integration Engineer, in consultation with Model Administration, evaluates whether
the RARF information needed to include the proposed resource in the SSWG, SPWG, and DWG
planning models and identified in the Resource Registration Glossary has been provided.
If the engineer’s decision was “Insufficient information at this time” or “Not meeting standards”,
engineer repeats steps 7 through 11 as needed until all requirements are met, at which time;
engineer updates the GINR database with the date of IA approval.
33 ERCOT engineer informs GINR coordinator via email that Protocol section 16.5 requirements have been
met. The GINR coordinator acknowledges via email. The project is now ready to move to the Modeling
and Registration stage of the interconnection process, and to be included in Resource Adequacy’s future
capacity projections. 34 APPENDIX F: SSO STUDY – GRID SIDE SCREENING STUDY PSCAD will be used to perform the necessary screening for the relevant case related to each
interconnection request. The study shall be performed in the following phases:
Phase 1- Base Case Preparation
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Select the base case created in the screening study for the year of interconnection.
Perform Contingency analysis using TARA to confirm case is stable under contingency
conditions.
Define the area to be modeled in PSS/E using the area command and equivalence the rest of the
model. Include in the conversion at least 5 buses in every direction from the POI to capture
appropriate detail. If necessary include lower or higher kV levels
Enter Step up transformer parameters for the POI in PSSE case before it is converted.
Create a .raw file as input to ETran.
Phase 2- Conversion using ETran
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Setup ETran parameters for a hybrid Pi model. Use the .etr file for Etran settings.
Convert the base case selected will be converted into .psc format using ETran software
Phase 3 – PSCAD run
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Read the ETran converted electromagnetic model of the area into PSCAD.
Create the frequency injection model from the point of turbine connection, and the Graph model in
PSCAD.
Run a simulation of current injections at different frequencies, and model the
frequency/impudence characteristic of the grid for base case conditions.
Create scenarios based on the credible planning contingencies as per NERC standard TPL-005
contingencies. Plot Resistance(R) and Reactance(X) are plotted under these conditions. (To
prepare for the next contingency, system adjustments may be made, including changes to
generation, uses of the transmission system if necessary to make a credible case under
contingencies)
Once all possible ERCOT credible contingencies have been studied, create a scenario in which
the connection of the POI is radial with that of series compensation. To prepare for the next
contingency, system adjustments may be made, including changes to generation, uses of the
transmission system if necessary to make a credible case under contingencies
Prepare a report, in which R and X of the system are observed over the range of frequencies and
observed for zero crossings of R and/or dips in X at certain frequencies is graphed.
The general selection of applicable contingencies for studies is outlined in the ERCOT Planning Guides
section 4. Contingencies and performance are identified in the ERCOT ISO System Planning
methodology, ESP-METHOD-03 System Planning Contingency Identification.
35 APPENDIX G: FIS SCOPE MEETING CHECKLIST The Interconnecting Entity initiates the Full Interconnection Study (FIS) scope meeting process by
submitting to the GINR coordinator, through GINR@ercot.com the following:
o
o
o
o
o
Written notice to “proceed with FIS”
Resource Integration form
Stability Modeling fee
Proof of Site Control
RARF data requirements per the Screening Study/Full Interconnection Study Guides for
information needed for FIS.
This can happen even before the Screening Study is completed. GINR coordinator notifies, via email, the
ERCOT engineer who performed the original Screening Study for this project.
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The ERCOT engineer enters the request date into the GINR database. If the original Engineer
(performed the screening study) is not available, GINR coordinator informs RI Manager so he can
assign the FIS Scoping meeting duties to another ERCOT engineer.
ERCOT engineer notifies IE whether it has provided all necessary information as part of the SGIA
application.
o If information is not sufficient, ERCOT engineer instructs IE to provide it promptly.
o IF the information is not forthcoming after ten days, ERCOT engineer must contact IE via
email and phone to request missing information.
o If sufficient information not provided within 20-days the ERCOT engineer turns problem
over to Manager.
Once the information is provided, the ERCOT engineer determines if ERCOT has already
completed a Screening Study for the project.
o If it has not, then Engineer notifies IE that a Screening Study must be performed
concurrently, and that the IE must request a screening study and pay screening study
fees. Information provided by Interconnecting Entity will be used for the screening and FIS
studies.
o ERCOT engineer allows 10-days for a screening study to be requested. If a screening
study is not requested the engineer notifies the Interconnecting Entity via email that the
FIS request will be cancelled if a request for a screening study is not received within 30days with payment of screening study fees.
o If a screening study request is not received within 35-days, a study cancelation notice is
sent by the ERCOT engineer and the project canceled.
The ERCOT engineer selects the lead Transmission Service Provider (TSP) to deal with the
Interconnecting Entity (IE), within five days of getting the notice from the IE to proceed with a Full
Interconnection Study (FIS), as indicated in Planning Guide 5.4.2.1 (1). This selection is based on
the analysis of the most likely point of interconnection.
ERCOT engineer contacts the TSP, and all other TSPs through the Transmission Owners
Generation Interconnection list, to schedule a FIS scope meeting with IE.
If ERCOT has already conducted a Screening Study, ERCOT engineer checks GINR database to
determine if the Screening Study is over 180-days old. If it is, ERCOT engineer notifies IE that the
FIS cannot be conducted because the deadline has passed, and that IE needs to apply for new
GINR.
36 ERCOT engineer sends a copy of this letter to ERCOT Legal department. To increase the
likelihood of projects getting past this stage, the new GINR database will send out a
reminder email 90-days after Screening Study completion.
If Screening Study has been conducted within the last 180-days, ERCOT proceeds with the FIS
scope meeting.
The ERCOT engineer determines if he/she has dealt with TSP(s) and/or IE previously. If they are
new, then ERCOT engineer will attend the FIS Scope meeting in person. If the ERCOT engineer
has met with them during last twelve months, then ERCOT engineer can participate in the
meeting via telephone.
At the scoping meeting, the IE presents the proposed GINR and ERCOT reviews the results of
the Screening Study with the transmission provider.
If during the Screening Study it was determined that a Sub Synchronous resonance study was
needed, the results of the study are added to this FIS scope.
If parties to not agree on the scope of work, including additions by ERCOT or TSP, (final cost,
etc.) the ERCOT engineer will attempt to mediate for a period of 60-days.
o If no agreement is reached during this 60 day period, ERCOT must then determine
whether to terminate the GINR (Planning Guide 5.4.2.1 (8). ERCOT will send out an
automated email (using new GINR database’s SharePoint/email functionality) after 30days have passed since the scoping meeting if no notification of agreement has been
received. Another one, with more urgent wording, will be sent out after 45-days.
If parties agree on the FIS scope at the meeting, IE has 10-days to make any changes or
comments.
o
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Once the FIS scope agreement has been reached, ERCOT engineer reviews the scope within ten
days of receipt.
o check the assignment list for Protocol and Planning Guide information needed
ERCOT engineer enters into the GINR database the FIS scope agreement date
37 APPENDIX H: FIS MANAGEMENT PROCESS CHECKLIST The FIS process described here can take place even before the Screening Study is completed. The
FIS is conducted by the TSP, but the TSP is mandated to keep ERCOT updated of progress. Future
Protocol or Planning Guide revisions will be aimed at making this part of the interconnection process
more transparent to ERCOT in order to avoid surprises (equipment changes, capacity changes, etc.)
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The ERCOT engineer will receive the Steady State study report when submitted to the
Transmission Owners Generation Interconnection list
The ERCOT engineer reviews the Steady State study report to determine/confirm what
transmission improvements will be required to integrate the Resource.
If the ERCOT engineer or other TSPs desire clarification or additional information on the Steady
State study report, they send an email requesting clarification to the TSP producing the study
within 10-days.
If no comments are received or all comments are addressed, the TSP producing the report
submits the accepted copy to the Transmission Owners Generation Interconnection list.
The ERCOT engineer will save the study report in the study folder on System
Planning/GenInterconnect.
The ERCOT engineer enters the date the Steady State study report was accepted into the
Steady State Study field of the GINR database.
The ERCOT engineer will receive the Short Circuit study report when submitted to the
Transmission Owners Generation interconnection list.
The ERCOT engineer reviews the Short Circuit study report and confirms that local breakers
have sufficient fault duty to clear a local fault.
For areas in ERCOT with low short circuit ratio/grid strength, the ERCOT engineer reviews the
Short Circuit study report and examines if the installed generator will have sufficient short circuit
current to meet the generator vendor recommendations (normally an issue for induction machines
to remain stable).
If the ERCOT engineer or other TSPs desire clarification or additional information on the Short
Circuit study report, they send an email requesting clarification to the TSP producing the study
within 10-days.
If no comments are received or all comments are addressed, the TSP producing the report
submits the accepted copy to the Transmission Owners Generation Interconnection list.
The ERCOT engineer will save the study report in the study folder on Gen Interconnects
If no revisions are necessary, the ERCOT engineer sends an email to the TSP and IE notifying
them that the Short Circuit study report is accepted by ERCOT
The ERCOT engineer records the date the Short Circuit study report was accepted into the
GINR database into field Short Circuit Study.
The ERCOT engineer will receive the Dynamic & Transient Stability Analysis report when
submitted to the Transmission Owners Generation interconnection list.
The ERCOT engineer reviews the Dynamic & Transient Stability Analysis report to
determine/confirm that the grid remains stable and the Generation Resource remains online under
typical fault conditions.
If the ERCOT engineer or other TSPs desire clarification or additional information on the Dynamic
&Transient Stability Analysis report, they send an email requesting clarification to the TSP
producing the study within 10-days.
38 □
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If no comments are received or all comments are addressed, the TSP producing the report
submits the accepted copy to the Transmission Owners Generation Interconnection list.
The ERCOT engineer requests the power flow case(s) for the Dynamic & Transient Stability
Analysis report, and saves the study case(s) into the study folder on System
Planning/GenInterconnect.
The ERCOT engineer will save the Dynamic & Transient Stability Analysis study report in the
study folder on GenInterconnect.
The ERCOT engineer records the date the Dynamic & Transient Stability Analysis report was
accepted into the GINR database in field Dynamics Study.
The ERCOT engineer will receive the Facilities Study report when submitted to the Transmission
Owners Generation interconnection list.
The ERCOT engineer reviews the Facilities Study report.
If the ERCOT engineer or other TSPs desire clarification or additional information on the
Facilities Study report, they send an email requesting clarification to the TSP producing the
study within 10-days.
If no comments are received or all comments are addressed, the TSP producing the report
submits the accepted copy to the Transmission Owners Generation Interconnection list.
The ERCOT engineer will save the Facilities Study report in the study folder
The ERCOT engineer records the date the Facilities Study report was accepted into the GINR
database in field Facilities Study Accepted.
The ERCOT engineer reviews projected costs of interconnection and enters the estimated cost of
integration into the “Estimated Integration Cost” field of the GINR database. If the cost is over
$25M an Economic study is required.
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If an Economic Study is required, the ERCOT engineer sets the “Economic Study
required” field in the database to “YES”. Otherwise he sets it to “NO”.
IF an Economic Study is required, the ERCOT engineer sends an email to the ERCOT
manager of Mid Term Planning requesting this study, and agrees upon a timeline for the
study.
IF an Economic Study is required, the ERCOT engineer notifies the interconnecting TSP
and IE of the projected completion for this study.
IF an Economic Study is required, when the Economic study is complete, the ERCOT
engineer sends the Economic study report to the TSP resource integration group for
comments within 10-days.
The ERCOT engineer will save the Economic study report in the study folder
If no revisions are necessary, the ERCOT engineer sends an email to the TSP and IE
notifying them that the Economic study report is accepted by ERCOT.
The ERCOT engineer enters the date of the Economic study acceptance in the “Economic
Study Date” field of the GINR database. (If no economic study was created this field
remains blank)
IF the ERCOT Engineer receives an SSO study as a part of the FIS scope, the date it was
received is entered into the “SSO Study Received” field of the GINR database.
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IF an SSO study is required, when the SSO study is complete, the ERCOT engineer
sends the SSO study report to the TSP resource integration group for comments within
10-days.
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The ERCOT engineer will save the SSO study report in the study folder.
The ERCOT engineer reviews the SSO study to determine if mitigation is required by
either the TSP or the resource.
If no revisions are necessary, the ERCOT engineer sends an email to the TSP and IE
notifying them that the SSO study report is accepted by ERCOT.
The ERCOT engineer enters the date of the SSO study acceptance in the “SSO
Approved” field of the GINR database. (If no SSO study was created this field remains
blank)
If mitigation is required, the ERCOT engineer coordinates the mitigation actions with the
TSP and the IE, and records a summary in the GINR database notes.
□
Once all individual studies in the FIS have been accepted, the FIS is deemed complete. The
ERCOT engineer enters the date into the “FIS_approved” field of the GINR database.

After the FIS is completed, the TSP and IE have 180-days to sign an IA, per ERCOT Planning
Guide, 5.4.8 (5).
If the resource has been registered, the ERCOT receives updated RARF information from the
Resource Entity as a result of the FIS process. ERCOT loads the updated information into the
RARF Planning Hub. If the resource has not been registered, the ERCOT engineer receives the
updated RARF data and stores it in the project folder on SystemPlanning/GenInterconnect

40 APPENDIX I: PROJECT PROTOCOL REVIEW CHECKLIST Background: The Standard Generation Interconnection Agreement or SGIA (commonly referred
to as the “IA”) is signed by the Transmission Service Provider (TSP) and the Interconnecting
Entity (IE). This review is also triggered if the IA is amended by one or both parties. In either
case, The TSP informs the Public Utilities Commission and ERCOT of the agreement via email to
GINR@ERCOT.com. The TSP is required by ERCOT Planning Guide 5.5.1 to do so within 10days in ERCOT’s case, and within 30-days in the case of the PUC.
The GINR coordinator
enters into the GINR database the SGIA signature date and ERCOT receipt date, and notifies the
Resource Integration Manager via email (triggers assignment of review). These are important
dates, because the receipt date starts the 60 day review period within which ERCOT must review
the projects compliance with protocol and other binding requirements. These dates also enable
the RI Manager to determine the efficiency of the IA review process. The GINR coordinator sends
a form letter to the IE with a list of data requirements required to analyze compliance with ERCOT
Protocols and other binding documents and for inclusion in the SSWG, SPWG, and DWG
planning models. The RI Manager directs the ERCOT engineer already assigned to project
preform the Protocol and Guide reliability review.
(1) The ERCOT engineer retrieves the IA from the GINR mailbox, and utilizing the IA information,
RARF information, and FIS study results (including study cases), evaluates the compliance of the
resource development with protocol requirements. A list of items checked is listed in Appendix E
of this document.
(2) The ERCOT engineer scans a copy of the completed protocol review results (Appendix E) to the
project folder and fills in the results in the GINR database.
(3) The ERCOT engineer sends a letter documenting compliance to Legal Department for review,
before sending letter out to TSP and IE. A template for this letter is attached as Appendix L.
(4) Upon authorization from Legal Department, the engineer sends the letter to the TSP and IE via
email. The ERCOT engineer copies ERCOT Client Services on the email.
(5) The Engineer notifies the RI Manager of protocol checklist completion and of the results.
a. If the ERCOT engineer’s decision was negative, or “not enough information”, the IE is
directed to send information necessary to the same engineer. In case of “not enough
information” ERCOT engineer must specify which changes need to be made.
(6) The ERCOT engineer updates the GINR database the day the letter is sent to the TSP and IE,
entering the date in the appropriate field, and saves a copy of the IA review in the project folder.
a. If the engineer’s decision was “Insufficient information at this time” or “Not meeting
standards”, engineer repeats steps 1 through 6 as needed until all requirements are met,
at which time; engineer updates the GINR database with the date of IA approval.
(7) ERCOT engineer informs Operations Support Engineering Supervisor that Protocol review is
completed successfully.
ERCOT engineer informs GINR coordinator via email that protocol review (protocol 16.5 (3))
requirements have been met.
41 APPENDIX J: ERCOT NOTICE FOR COMMISSIONING PLAN Prior to submitting a request for approval to energize a new generation facility, ERCOT may request a
written plan describing commissioning of the new generation facility from submittal of PART 1 of the
Checklist to ERCOT through anticipated approval of PART 3 of the Checklist. ERCOT Nodal Protocols
Section 16.5 allows ERCOT to refuse initial energization if the new generation facility cannot demonstrate
compliance with the operational standards established in the Protocols, Planning Guide, Nodal Operating
Guides and Other Binding Documents (including the Nodal ICCP Communication Handbook). ERCOT
may review the commissioning plan and provide feedback if the plan indicates possible non-compliance
with such operational standards.
Once ERCOT has reviewed and provided feedback on the Commissioning Plan, and the Resource Entity
and QSE have considered ERCOT’s comments, the QSE may submit PART 1 of the Checklist if the
Generation Resource is ready for initial energization, pursuant to the Stage 3 criteria of the Generation
Interconnection Process.
The Commissioning Plan should have sufficient detail which explains how the new Generation Resource
will manage the testing of generation and systems while supporting grid security in accordance with the
ERCOT Nodal Protocols and Operating Guides. At a minimum, the Commissioning Plan should provide
relevant high-level facility information, such as maximum generation and load capabilities and generator
fuel type (e.g. wind, solar, combined-cycle, etc). In addition, a schedule in tabular format should be
included, detailing estimated dates for the following:
1. Energization of the POI, if new
2. Submittal of each PART of the Checklist
3. Initiation of energization, synchronization, and QSE-declared commercial operation
4. Availability of control systems and other equipment (e.g. static reactive devices, AVR, PFR, PSS,
etc.) needed to support grid security
5. Testing the facility to meet Checklist PART 3 requirements (e.g. leading/lagging reactive
capability, AVR, PFR, etc.)
The Commissioning Plan should also provide details and a schedule for the following:
A. Dates on estimated number of generating units planned to be online in ONTEST mode for testing
per specified period (Hour Ending and Operating Day, etc.). An explanation of what tests are
being run during periods the Generation Resource is reported to ERCOT with resource status as
“ONTEST” shall also be provided.
B. Explanation of sequence and length of time for 1.) Orderly shutdown; and 2.) Urgent shutdown, in
the event it is necessary for ERCOT to issue a verbal instruction to suspend testing and
shutdown due to system reliability event for which the capability of new generation is not available
due to commissioning.
C. Explanation of how the QSE and Resource Entity will confirm telemetry quality during
commissioning period through validation, monitoring performance, and troubleshooting.
42 If changes are made by the Resource Entity to the plan then the Resource Entity must communicate
those changes to ERCOT and ERCOT shall determine if a modified Commissioning Plan should be
resubmitted.
In accordance with Protocol Section 16.5(4), ERCOT reviews facility design capability. The current
capabilities reviewed are listed below. ERCOT recommends that the Commissioning Plan provides
sufficient detail to evaluate the availability of capabilities that will be available during the commissioning
period and explanation of associated response times in accordance with ERCOT Nodal Operating
Guides 2.2.10.

Confirm design will produce ±0.95 Power factor reactive at all MW levels between LSL and HSL
Protocol section 8.1.1.2.1.4.

Confirm a Power System Stabilizer or equivalent is included in the design: Protocol section
3.15.3[4]

Confirm the Generation Resource will provide frequency response: Protocol section 8.5.1.1 and
8.5.1.3

Confirm the Generation Resource will dynamically provide voltage regulation: Protocol section
3.15

Confirm breaker interruption capability is suitable to fault duty

Confirm transient voltage ride through per Protocols and operating guides: Operating Guide
section 2.9

Confirm AVR is included in the design, and it can be operated in voltage control mode. Protocol
section (3.15.3 & 3.15 [5])

Confirm Generation Resource can respond to changes in the voltage profile. Protocol section 3.15

Confirm reactive capability is based upon the ability to deliver to the HIGH side of the step-up
transformer. Protocol section (3.15 [3])

Confirm the Generation Resource is able to receive control signals from its QSE in an upward and
downward direction. (Normally referred to as AGC; Protocol section 8.1.1.2.1.1 and 8.1.1.4.1(7-8))

Confirm under-frequency relays installed meet the requirements of operating Guide 2.6.2
Frequency Range
Delay to Trip
Above 59.4 Hz
No automatic tripping
(Continuous operation)
Above 58.4 Hz up to
And including 59.4 Hz
Not less than 9 minutes
Above 58.0 Hz up to
And including 58.4 Hz
Not less than 30 seconds
Above 57.5 Hz up to
And including 58.0 Hz
Not less than 2 seconds
57.5 Hz or below
No time delay required
Additional documentation that supports the information requested in items A-C above is encouraged.
Please note if any technical documents referenced in the Commissioning Plan were already provided to
ERCOT during the engineering design study in accordance with Protocol Section 16.5 (3).
43 APPENDIX K: MODELING REQUIREMENTS FOR SYNCHRONIZATION WITH THE GRID In order to describe the “Approval to Energize Process” two concepts must be defined.
The first concept is the model-ready date (MRD) which is required in the RARF’s Unit Info tab-sheet.
The MRD corresponds with the energization date associated with a NOMCR. The MRD is the date that
the new piece of equipment first appears in the ERCOT Network Operations Model production
environment.
The MRD must correspond with a Scheduled Model load date
(http://www.ercot.com/gridinfo/transmission/opsys-change-schedule.html). The MRD will also correspond
with the date that new piece of equipment must initially be outaged (for most cases, or for a few rare
cases: Outaged-with-Closed state as to not affect existing power flows) in the ERCOT Outage Scheduler.
Resources must email the ERCOT Outage Coordinators to have outages entered in the Outage
Scheduler.
The second term is the date that corresponds with the field-energization of a piece of new equipment.
The field-energization date is the date the new equipment is energized in the field and is ready for normal
or test service.
The energization of new equipment in the production environment will be preceded by two conditions.
First, the equipment must be modeled in NMMS in its final normal state. Secondly, a Planned Outage
exists in the Outage Scheduler with an end time that corresponds to the energization of the new
equipment. Relocated equipment that is moved from one location to another, or is re-energized in a new
configuration in the same substation should be processed through the same A2E process as new
equipment. The relocated equipment should be modeled as new equipment.
Training on use of the outage scheduler is available through ERCOT training services. A catalogue of
available
courses
is
posted
on
the
ERCOT
website
at:
http://www.ercot.com/services/training/courses.html
The
outage
scheduler
user
manual
is
available
on
the
ERCOT
website
at:
http://www.ercot.com/content/services/mdt/userguides/wholesale/ERCOT%20Nodal%20Outage%20Sche
duler%20User%20Guide%20for%20QSE%20v1.1.pdf
To begin the approval-to-energize process; ERCOT Operations will review Part 1 Request to
Commission Point of Interconnection checklist, and if all is in order, agree to allow energization on a
specific date. The interconnecting TSP shall revise the outages in the Outage Scheduler to schedule the
transmission equipment as in service on the energization date. ERCOT outage schedulers review on a
daily basis equipment that is to be energized in seven days. Equipment that is reported as ready for
energization in seven days will be studied as energized in the current production model. If no problems
are anticipated, ERCOT will send an email to the owner of the equipment stating that the Approval to
Energize is expected to occur and that no problems are anticipated.
If upon investigation of the current production model problems are found, then the email sent to the
owner of the equipment will detail the problems and state that the Approval to Energize could be delayed
if the problems are not fixed prior to the requested energization date. Market Participants are required to
contact ERCOT Operations when the problems are corrected. When problems have been corrected,
ERCOT will verify, and send an email that the new equipment can be energized as scheduled.
44 In some cases the future equipment that is to be energized may not be in the current production model.
The operator will receive a notice stating the equipment to be energized in seven days is not in the
current model and that the Approval to Energize may be delayed. In these circumstances, the operator
of the equipment is required to call ERCOT Operations and provide details as to when the equipment is
expected to be loaded into the production environment. With the appropriate communication, the
energization date for the new equipment will not be delayed. Once ERCOT has verified the equipment is
in the production model and meets the Approval to Energize standards, an email will be sent to the owner
of the new equipment confirming that it can be energized as scheduled.
When interconnection requirements are met, ERCOT Operations will contact the ERCOT Shift Supervisor
and notify them of the expected energization dates and any other recommended actions. Market
Participants are required to request approval from the ERCOT Shift Supervisor for the activation of any
new equipment or a relocated transmission facility that is connected to the ERCOT Transmission Grid,
according to ERCOT Protocols Section 3.3.1. The request notification shall be by phone from the Market
Participant to the ERCOT Shift Supervisor or designee on the day of the energization. If the ERCOT Shift
Supervisor or his designee and ERCOT Operations are in agreement, then he/she will allow the
equipment to be energized.
Below is an example of the Approval to Energize process.
45 APPENDIX L: LETTER TEMPLATE SENT UPON EXECUTION OF IA Dear <Person’s first name>:
Sixty days after ERCOT receives notification of a generating resource having signed an Interconnection
Agreement, ERCOT is required by Nodal Protocols Section 16.5 (3) to assess whether the Resource, as
proposed, would violate any operational standards established in the Protocols, Planning Guide, Nodal
Operating Guides, and other binding documents. This letter is in response to your recent signing of an
Interconnection Agreement.
In addition to the protocol review, ERCOT is required to include resources meeting the requirements of
ERCOT Planning Guide Section 6.9 in the ERCOT planning cases for SSWG, SPWG, and DWG. The
creation of these planning cases requires additional resource data that is detailed in the Resource
Registration Glossary.
In order to effectively perform this review, ERCOT needs key pieces of information. It is to your
advantage to submit this information early so that ERCOT can provide more useful feedback regarding
the compliance of your resource.
Key documentation required:
1. Resource Asset Registration Form (RARF). A complete RARF is not required for this review;
refer to Resource Registration Glossary for fields required for Planning Model.
2. Impedance data of step-up transformer.
3. For generators with a collector system (e.g. wind farms, solar farms): Power flow model
(including short circuit data) of collector system (PSSE RAW and SEQ file formats preferred).
4. Statement of intention to provide dynamic and automatic voltage regulation service.
5. Statement of intention to provide frequency response. (Statement not necessary if governor
droop settings are provided in the RARF.)
6. Statement of intention to install and operate a power system stabilizer. (Required for all
synchronous generators.)
7. Results of FIS Stability and Short Circuit studies.
8. Results of FIS Sub synchronous study, if required.
If you have already submitted completed documents, resubmission is not necessary. Upon starting the
review, an engineer will contact you and verify what has been received.
ERCOT requests you provide these documents within three weeks of the date of this letter in order to be
sure they will be included in the review. Please email your documents to GINR@ercot.com.
While fully completed documents are ideal, we realize that resources may not have all the necessary
information at this time. ERCOT will accept incomplete documents, with the understanding that: (1)
Protocol compliance will be evaluated based only on the information provided, (2) complete and validated
filings must be submitted with ERCOT sufficiently in advance of resource commissioning, and (3) PreRARF data required for the Planning Models will include typical or representative data where actual
design or construction information is not available and will be updated as soon as such data is available.
For your reference, Attachment 1 lists the protocol requirements that are included in this review.
ERCOT appreciates your prompt attention in providing documentation. If you have any questions, please
do not hesitate to contact us.
46 Attachment 1
Protocol Requirements Included in this Review
Following is a list of Protocol and Operating Guide requirements included in this review. This is NOT
intended to be an exhaustive list for compliance purposes. Note that the Protocols and Operating Guides
can change from time to time, and it is up to the resource owner / QSE to be sure that it meets updated
requirements on an on-going basis.
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Parameters in RARF match assumptions in Full Interconnection Study.
Resource capable of producing 0.95 leading and lagging power factor of Pmax at all MW levels
between LSL and HSL, as measured at the Point of Interconnection, where Pmax represents the
maximum net power to be supplied to the ERCOT transmission grid. Protocol section 3.15 and
8.1.1.2.1.4.
Resource includes a Power System Stabilizer. Protocol section 3.15.3[4] and Operating Guide
2.2.6.
Resource provides frequency response. Protocol section 8.5.1.1 and 8.5.1.3 and Operating
Guide Section 2.2.7.
Resource provides dynamic voltage regulation. Protocol section 3.15.
Transmission breaker(s) interruption capability is suitable to fault duty.
Resource capable of voltage ride through, per Protocols and Operating Guides. Specifically
Operating Guide section 2.9.
Automatic Voltage Regulator is included and can be operated in voltage control mode. Protocol
section 3.15.3 & 3.15.
Resource responds to changes in the voltage profile. Protocol section 3.15.
Sub synchronous issues have been reviewed and resolved, if any.
Planning Model modeling information provided in accordance with Operating Guide 5.1, Planning
Guide section 6.9.
47